MS
MS
Michael Spiering
34 Years of Experience
Walnut Creek, CA
1 DisclosureBroker
Michael Spiering is a registered investment advisor at Morgan Stanley, based in Walnut Creek, CA, with 34 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
Loading...
Location
1333 North California Boulevard, Suite 133, Walnut Creek, CA, 94596
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2003Settled
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 17 yrs 3 mos
Morgan StanleyBroker
June 2009 - Present · 17 yrs 3 mos
Previous Registrations
Citigroup Global Markets INC.Broker
October 2005 - June 2009 · 3 yrs 8 mos
Citigroup Global Markets INC.
October 2005 - June 2009 · 3 yrs 8 mos
Merrill Lynch Pierce Fenner & Smith INC.
July 1998 - October 2005 · 7 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1991 - October 2005 · 13 yrs 11 mos
State Registrations23 states
AKAZCACOCTFLHIILMAMDMIMNNCNVNYORPARISCTNTXVAWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.